Calhoun: The NPS Institutional Archive

Theses and Dissertations Thesis Collection

1967

Coordination of automatic data processing in the

new Department of Transportation.

Schaefer, Thomas P.

George Washington University

http://hdl.handle.net/10945/11871

DUDLEY K 0OLNAVAL POS 33943MONTEREY. CnLirw.

COORDINATION OF AUTOMATIC DATA PROCESSING

IN THE NEW DEPARTMENT OF TRANSPORTATION

By

THOMAS P. SCHAEFERL _J

fi^

COORDINATION Of AUTOMATIC DATA PRCX INO

IN THE NEW DEPARTMENT OF TRANSPORTATION

Thomas Patrick Scnaefer

Bachelor of Science

Coast Guard Academy

1956

A Thesis Submitted to the School of Government andBusiness Administration of the George Washington

University in Partial Fulfillment of the

Requirements for the Degree of

Master of Business Administration

April 1967

Thesis directed by

John W» McCarthy , Jr.

Associate Professor of Business Administration

i

LIBRARYNAVAL POSTGRADUATE SCHOOLMONTEREY, CALIF. 93940

TABLE. OF CONTENTS

PageINTRODUCTION 1

Chapter

I. THE DEPARTMENT OF TRANSPORTATION 4

IL INDIVIDUAL ELEMENTS OF THE DEPARTMENT ... 12

III. COORDINATION OF AUTOMATIC DATAPROCESSING 36

IV. PROGRESS TO DATE 48

V. SUMMARY AND CONCLUSIONS 61

Appendices

A. Transport Responsibilities in the Executive Branchprior to D.O.T 70

B. Additional Lata on ADP Capabilities of

D.O.T. Elements 74

C. Additional Data on ADP Applications of

D.O.T. Elements 75

L. Reports, Studies, Hearings, and legislation

Relating to Coordination of ADP in the FederalGovernment 77

BIBLIOGRAPHY 79

ii

INTRODUCTION

In recent months a Department of Transportation has come into

being in the United States, joining together lor the first time a previously

scattered group of elements and responsibilities. Such an event creates

both problems and opportunities for the participants and coordination

assumes vital importance. This paper discusses the question of co-

ordination of automatic data processing, under the assumption that action

taken in this area will affect most other spheres of activity in the De-

partment.

In chapter I the questions considered are: What is the L epart-

ment of Transportation? V hy was it created? What are its objectives?

Chapter II examines the individual elements of the new iepart-

ment in terms of their size, functions, automatic data processing capa-

bilities and applications.

In chapter III, answers to the questions of how much ADP co-

ordination is required and how much is "right*' are sought from varying

standpoints. Consideration is given to governmental pressures and man-

agement theory, as well as to the attitudes and philosophies of concerned

individuals.

Chapter IV discusses the steps already taken to coordinate ADP

in the Department of Transportation starting before its creation and

1

continuing through February 1967.

The final chapter includes a summary of the characteristics

and objectives of the Department and its elements, the pressures for

coordination of ADP, and personal conclusions and recommendations

for future action.

The chief objectives for undertaking research on this topic

were to learn more about the new Lepartment and to become more

familiar with the field of automatic data processing. Methodology em-

ployed for research was divided nearly equally between reading and

interviewing. Documents and books studied included the legislative his-

tory of the Lepartment of Transportation Act. general literature relating

to ADP and transportation, governmental Hearings and reports concerned

with ADP, and other writings pertinent to the use of computers in large

organizations. One or more persons concerned with ADP applications

in each element entering the new Department were interviewed, as were

representatives of the Bureau of the Budget and the General Services

Administration, from a personal viewpoint, meeting these people and

visiting their offices and ADP installations were probably the most in-

teresting and rewarding phases of the research project.

Due to the current nature of the topic, some of the views ex-

pressed by concernee inoividuals have not been directly attributed to

them. Many thanks are due, however, to all who had the patience ano

frankness to discuss the matter. Credit for much of the management

philosophy expressed herein is morm properly due to the several Pro-

fessors whose courses have related to the subject. Any mistakes or

errors in applying their instruction can only be assigned to the author.

Finally it must be stated that -without the encouragement anc coopera-

tion of my wife and children, this paper could not have been completed.

CHAPTfcit I

THfe DEPARTMENT OF TRANSPORTATION

What is it ? . . . The teo»rtment of Transportation is a new arm

ol the L ^ecutive Branch of the Federal Government oi the United States.

It is the twelfth cabinet level department created since 1789. At incep-

tion it employs more than 94,000 persons, controls about $6 billion in

annual government expenditures, and is responsible for over 120 programs

1

anc activities relating to transportation.

Prior to 1966, the t epartment of Transportation was variously

known as a time-honored proposal, a vitally needed agency, and a potential

threat to the interests of individual segments of the industry. In the Con-

gressional Hearings which preceded its creation, those in favor of the

new Department called it a fresh organizational approach to the com-

plexities of government activity in the transportation field, as well as a

vehicle for increased efficiency and economy. L.ess favorable character-

izations included such phrases as a bureaucratic maze, a conglomeration,

and a reshuffling of government agencies.

1

** Untangling the Nation's Lifelines,** Business v eek, November26, 1966, pp. 111-114.

U. S. Senate, Committee on Government Operations, Hearingson a. 3010- -Establishing a Department of Transportation. Parts I to 4.

89th Cong., 2d Sess., March-June 1966.

To the proponents of the Department who had hoped for oroader

powers and more functions included, the bill which finally passed the

Congress represents half a loaf, but it is at least a first big step in the

direction of coordinated policy and programs. Opposing views appear

time after time in the Hearings from those who would retain separate

organisational machinery for each mode of transportation. One critic

felt that combining aviation with rail, road, and waterway would be

like hitching a race horse, a quarter -horse, a Shetland pony, anda Clydesdale into a team. They are all horses, but they don't

work well as a team and there is little merit in trying to makeone out of them.*

The principal factor which will determine the success or failure

of the team is the people on it. Here lies the most important answer to

the question, ' * vv hat is the L apartment of Transportation?** It is an or-

ganization of people, nearly 100,000 of them, with all the differences in

age, skill, expectations, and other characteristics to be found in any large

organization.

There are young secretaries just out of school and there are

career men with only a year left to retirement. There are working

mothers with sons in college and there are young bachelors with eyes on

the clock and the secretaries. Same personnel in the new Department are

military; roost are civilians. Many are dedicated to the goals of their

U. S. House of Representatives, Committee on Government Opera-tions, Executive and legislative Reorganization Subcommittee. Hearings onCreating a Department of Transportation. Part I., 89th Cong., 2d Seas.,

1966, p. 34S.

agencies; others are just seeking experience before moving on to a more

lucrative job.

This paper is concerned with coordination of Automatic Data

Processing. What must not be lost sight of is that one can seldom ever

coordinate things. One can only attempt to coordinate the actions of

people. Recognizing the differences in people is s vital first step.

why was it creaUto \ . . . The Department of Transportation was

created primarily as an attempt to improve on an existing situation, i.e.,

the lack of coordination in government transportation policy, exemplified

by the scattered responsibility for transportation programs among many

elements of the Executive Branch. The wide dispersion of Federal ac-

tivity in transportation as it existed prior to the Department of Trans-

portation is shown in Appendix A of this paper. In transmitting his pro-

posal for the new Department to the Congress, the President of the United

States saio;

America today lacks a coordinated transportation system that per-mits travelers and goods to move conveniently and efficiently fromone means of transportation to another, using the best character-istics of each.1

The Director of the Bureau of the Budget testified in support of

the proposed change by saying:

Today, transportation responsibilities are widely diffused throughoutthe Government. The lack of central leadership significantly

Dyndon B. Johnson, cited in U.S. Senate iiearings on S. 3 01

J

Part 1., p. 39.

handicaps the development of unified transportation policies anda fully effective execution of Federal transportation programs .1

The belief that the present situation was inadequate did not re-

side solely in the minds of the Administration or the party in power, as

shown by this statement from the Republican members of the House

committee which studied the proposal:

We believe that the need now exists for setting up the machineryto develop a cooruinated and unified approach to transportation

within the free enterprise system in order to attack problems,correct deficiencies* establish oroer. advance the art, anu better

assist the promotion of industry. The plethora of agencies deal-

ing with the various modes and phases of transportation does not

lend itself to a unified approach.

Contrasting the situation in America up to 1966 with that in other

countries, one writer said:

Transport development in the United States is a function of manyagencies, bureaus, and departments and, in particular, there is noone bureau, department, or ministry of transportation. This lack

of a major center of responsibility is almost unique to the United

states; no other major western industrialized country follows this

practice to the same degree.

In his discussion of the pros and cons of creating a cabinet level Depart-

ment of Transportation, Mr. Meyer later said:

Charles SchulUe, cited Ibid., p. 7S.

2Representatives Dvyer, Eeid, Horton, Rumsfeld, Dickinson,

F.rlenborn, Wydler, and Brown, cited in U. S. House of Representatives,

Committee on Government Operations Report No. 1701 on the L apart-

ment of Transportation Act . 89th Cong., 2d aess.. July 15. 1966, p. 61.

aJohn R. Meyer, "Transportation in the Program Budget,**

Program Budgeting, ed. David Novick (Washington: Government Printing

Office. 1964), p. 105.

Perhaps the best argument lor creating such a new departmentis that it could not possibly result in worse coordination of

different federal transportation activities than now occurs. 1

A need for improvement has long existed. Efforts to create a

Department of Trans portation go back many years. Specific legislative

proposals have been offered more than 20 times in the years since

1874. n« specific area in which consolidation of information* exper-

tise, and research efforts was forecast as potentially most beneficial

was that of safety and accident prevention. It was felt that many com-

mon elements exist in accidents involving all modes of transportation.

The similarity of human factors was underscored by Najeeb E. Halaby,

former head of the Federal Aviation Agency and now a Senior Vice

President for Pan American V. or Id Airways:

V. e have right now some of the best studies in the world on the

problem of head injuries due to pilots hitting the dashboard.Well, almost the same forces are involved in a driver hitting

the dashboard of an automobile . *

Another cause for the creation of a Department of Transporta-

tion lies in planning for future needs, as expressed by Senator

Magnuson:

In a scant 35 years, a population nearly tiouble that of today will

need a 21st-century transportation system to move the travelers

XIbid., 128.

2U. S. House Hearings on Creating a Department of Trans porta -

tion. Part 2, pp. 819-824.

3U. S. Senate, Hearings on S. 3010, Part 3., p. 510.

and goooa of a new merica. The Cabinet Secretary of Trans

-

portation can provide leaderabip in the development of a trans-portation system for the expanded needs of America in the

coming century.

The dynamic growth of transportation in the United States was

underscored in the President's message previously mentioned. In the

last 20 years the number of motor vehicles jumped from 31 million to

90 million; aircraft (non -military) increaaed from 38,000 to 97,000.

Cargo movement in America increased from 619 billion ton-miles in

1931 to 1.5 trillion ton-miles in 1964.2

In fiscal year 1966 more than

$5 billion in Federal funds were invested in transportation --in highway

construction, river and harbor development, airway operation, maritime

subsidies, and other functions.

After hearing eleven days of testimony which fills 1200 pages,

the Committee on Government Operations reported to the whole House:

Vie propose, by the creation of a Department of Transportation,

to lay the organizational base for coherent policy and efficient

performance in another large and vitally important area of public

concern- -the movement of people and goods. *

What are its objectives

V

. . . The objectives of the new Depart'

ment can be stated in either grandiose or minimal terms depenoing on

the point of view of the speaker. In the declaration of purpose on page

one of the Department of Transportation Act, the Congress stated

Hbid., Part 1, p. 58.

2Ibid. ( Part 1, p. 38.

U. S. House, Committee Report No. 1701 ., p. 5.

10

objectives in t&is fashion:

To assure the coordinated, eliective administration ol the trans-portation programs of the federal Government; to facilitate the

development and improvement of coordinates transportation serv-ice, to be provided by private enterprise to the maximum extent

feasible; to encourage cooperation of Federal, State, and local

governments, carriers, labor, and other interested parties towardsthe achievement of national transportation objectives; to stimulatetechnological advances in transportation; to provide general leader-ship in the identification and solution of transportation problems;ano to develop and recommend to the President and the Congressfor approval national transportation policies and programs to

accomplish these objectives with full and appropriate considers-tion of the needs of the public, users, carriers, industry, labor,

and the national defense/

Another expansive list of objectives was contained in the

President's message requesting creation of the new Department:

The Department of Transportation will- -coordinate the principal

existing programs that promote transportation in America; bring

new technology to a total transportation system, by promotingresearch ano development in cooperation with private industry;

improve safety in every means of transportation; encourageprivate enterprise to take full and prompt advantage of newtechnological opportunities; encourage high-quality, low -cost

service to the public; conduct systems analyses and planning,

to strengthen the weakest parts of today's system; and developinvestment criteria and standards, and analytical techniques to

assist all levels of government and industry in their trans-portation investments.

More pointed objectives have been suggested by others:

Reduce the multiplicity of reports and statistics by the various

U. S. Public Law 89-67Q--Department of Transportation Act .

H. R. 15963., 89th Cong., 2d Sess., October 15, 1966.

U. S. Senate Hearings on S. 3010. , .-art I., p. 43.

u

segments making up the total transportation system.

Get me to the suburbs as fast as I can get to Chicago . . .

In general terms, the job of the new Department is to solve

the transportation problems of the nation. It is almost an impossible

task. The best that can oe expected is improvement. The Task f orce

which vorked to set up a departmental organisation noted that the

strength of new Department lies in its constituent agencies. The job

of the Secretary and his central staff is to coordinate these individual

agency capabilities into a team effort.

RADM John Harllee. USN (Ket.), Chairman of the federalMaritime Commission, cited in U.S. House Hearings on Creating aDepartment of Transportation. , Part 1., p. 182.

2Man on a bus -stop, a Parker cartoon. The ^ ashin&ton Post,

Feb. 6, 1967, p. A16.

CHAPTER II

INDIVIDUAL ELEMENTS OF THE DEPARTMENT

When i resident Johnson signeu the Department of Transportation

Act on October IS, 1966, he joined together a number of diverse bureaus

and agencies. All perform trana portation -related functions but there is

considerable variation in their other characteristics. This chapter will

summarize the nature and functions of each element, with emphasis

placed on automatic data processing capability and applications. An

effort has been made to keep this discussion free of excessive quanti-

tative data and equipment description. More detail of this type will be

found in Appendix &. Additional details on ADP applications are in-

cluded in Appendix C.

UNDER SECRETARY OF CCMMERC

FOR TRAlv i'AflCN

The office of the Under Secretary had an authorised staff of

147 persons and a budget of about $28 million in fiscal year 1967.*

References for material in this chapter are detailed in the

BIBLIOGRAPHY and include Congressional Hearings, Bureau of the

Budget Inventory of ADP , and a number of personal interviews.

U.S. Senate Hearings on S. 301 U.. ?art 2, p. 174.

12

ii

This element was the principal Executive advisor in all matters relating

to transportation and was charged with general responsibility for foster-

ing, promoting, and developing the nation's transportation facilities.

The incumbent, Hon. Alan ->yti» is now the first Secretary of Trans-

portation. In addition to broad policy cevelopment and supervision of

the staff elements immediately below, the Under Secretary was re-

sponsible in the Commerce Department for the activities of the Mari-

time Administration, Bureau of Public **oads. Great Lakes Pilotage Adminis-

tration, and St. Lawrence Jea-Vv'ay Development Corporation. All of

these elements except the Maritime Administration were transferred

to the new Department.

OFFICE OF TRANSPORTATION POLICY DE.Vt.LvPMfc.Nr. This office

develops over -all transportation policies and plans, identifies major

transportation problems, and proposes research or other acuons. It

uoes not use Automatic Lota Processing services at this time.

OFFICE OF TRANSPORTATION FKGC nother staff element

which will accompany the Under Secretary into the New Department is

the program office which administers the Aviation Y ar Risk insurance

Program and the Aircraft Loan Guarantee c rogram, and helps to co-

ordinate the activities of the line agencies mentioned above. ADP

services are not presently used.

Sworn into office Jan. 16, 1967.

14

OFFICL OP TRANSPORTATION RESEARCH. This office conducts re-

search projects directly or through contract, and furthers research in-

formation to assist in broad policy development. Although not using

ADP services at this time, the use of ADP in the future is anticipated.

OFFICE OF TRANSPORTATION DATA SYSTEMS. The program with

which this office is principally concerned is the collection of statistical

information by transportation carriers. The Acting Director, Mr.

Robert Brown, explained their efforts to achieve similarity and

compatibility between data elements and codes, so as to improve the

meaningfulness of comparisons. Such areas as the geographic coding

of origin-destination data, and the commodity coding of the various

carriers represent major problems. This office utilized the ADP

capability of the Bureau of Census to fill its data processing needs

from the Census of Transportation taken in 1963. Similar arrange-

ments will probably be made for the Transportation Census of grain,

livestock, fruit, minerals, and other items to be taken in 1967. Future

plans include changing the name of this office from Transportation Data

Systems to Transportation Information Planning, which will remove the

erroneous impression that its area of responsibility includes ADP

equipment.

——«i I I I « i » I .» I I i ii in »—»— in n .i n m i n m .i n i i i„ m m i i. n

Interview, January 25, 1967.

Included in the 1963 Census of Transportation were surveys of

Manufactured Commodities, Passenger Transportation, Truck and BusCarrier inventory and usage.

If

OFFICE or EMERGENCY TRANSPORTATION . This office aevelops and

coordinates plana anc policies for centralised control of all modes of

transportation in the event of emergency or mobilization. A chief con-

cern ia the proper allocation of civil transportation capacity to meet

both military and civilian neeos. ADP aervices comprising t> to 10

computer hours per year have been obtained from the office of Emer-

gency Planning computers at the National Research Evaluation Center.

OFFICE, OF HIGH-SPEED GROUND TRANSPORTATION. This office is

responsible for planning and carrying out a program of research,

development, and demonstration for high-speed grounu transportation.

The Transport Systems Planning Division conducts developmental

studies, using ADP services from the National Bureau of Standards

or contracts -with commercial firms. Another element of this office,

the Demonstration Division, is presently using an IBM 1440 12K com-

puter with a Kimball KR 1200 Reader on-line to process and accumu-

late railroad passenger data in the Northeast Corridor. Conductors

on all Pennsylvania and New Haven Railroao trains between W ashington,

D. C. and Boston punch a color -coded ticket for each passenger to show

city of origin and destination and whether coach or first class facilities

were used. Train number and oate are also recorded. As explained by

the Chief of the Division, this information ia supplemented by surveys

Interview with Mr. Robert Haden, 25 January 1967.

16

of travelers and non -travelers taken on trains and in homes.

The specific purpose of this application is to determine the

potential contribution of High-Speed Ground transportation in the Cor-

ridor, by measuring and analyzing public response to present or

1future changes in service. Problems include rough handling of tickets

by passengers which hampers later automatic processing, incorrect

punching by conductors, and lost tickets.

BUR&AU OF PUBLIC KOAl

The Bureau had an authorized staff of 5,755 persons and a bud-

2get of nearly $4.5 billion in fiscal 1967. This huge sum, which will

represent nearly 3/4 of the new Department's expenditure authority, is

almost totally derived from highway -user taxes, such as gasoline and

diesel fuel taxes. The Bureau administers two major highway construc-

tion and development programs in conjunction with State officials. The

Federal -aid to primary and secondary systems program has been in ef-

fect since 1916, with the Federal government paying half the cost of the

nearly 850,000 miles of roads included. Since 1956, the National System

of Interstate and Defense Highways program has been 90 per cent sup-

ported oy federal funds and will comprise 41,000 miles of controlled

-

access highways when completed in 1973.

It appears that this system could be applied to any mode of trans-

portation or geographical area, with minor changes. Cooperation of the

carriers involved would be essential.

2U. S. Senate Hearings on S. 3010. , Part 2, p. 175.

17

other major functions of the Bureau induce highway research,

planning, and safety, oeauhfication has recently assumed greater im-

portance, as has the National driver registration program. Aid to

other nations in developing highway organisations and programs and

assistance in the construction of the Inter -American Highway from the

United States to Panama are also Bureau responsibilities.

At their Washington, L. C« headquarters the Bureau is pres-

ently operating two computer systems in parallel. Being phased out

is an IBM 7010 oOK system with two IBM 1401 auxiliary computers

which are used primarily for input-output to the 7010. The new system

which was installed in December, 1966 consists of an IBM 360 model

50 computer with 26ZK. A wide range of applications is processed which

can be broken down into three areas. Administrative uses include pay-

roll, personnel, accounts, budget, program analysis, and project account-

ing for each Feceral-aid construction project. A second major area,

the National driver registration program, accounts for nearly one thirc

of total computer hours. In this application the Bureau maintains about

two million records on previous driver's license revocations. Any

State desiring to do so may forward names of new applicants for a

driver's license and will receive back information of previous revoca-

tion by any other State.

January 24, 1967. Persons interviewed included Mr. Keith

ftohler, Chief, Computer services Division; Mr. Ken Close, Chief,

Systems and Programming Branch; and Mr. James Ledford, Planning Staff.

18

The thirc general area ol usage comprises engineering and

technical applications, design and research computations, planning,

safety, ant operational programs, right of way and location studies,

and various statistical summaries.

Four regional offices under the Bureau of Public Roads also

utilise computers, principally for engineering and design applications

similar to the third category above. The computer model presently

in use at the San Francisco, Vancouver, and Arlington regional loca-

tions is an IBM 1401 whereas the Denver office uses an IBM 162Q.

UNITED STATU COAST GIMKL

The Coast Guard had an authorized staff of 35,339 military and

5,881 civilians and a budget of just over $500 million in fiscal 1967.

A military service, the Coast Guard maintains readiness for operation

under the Navy in time of war or at the direction of the President.

Peacetime functions include search and rescue services, oceanographic

research, merchant marine safety including licensing of mariners and

inspection of vessel construction and repair, and enforcement of Federal

maritime laws.

The Coast Guard also operates ana maintains a comprehensive

system of aids to navigation for inland and off-shore maritime users,

and for trans -oceanic aircraft. Port security, icebreaking, and ice patrol

U. S. Senate Hearln&s on S. 3010 , Part 2, p. 18u.

19

services are also provided.

The Coast Guard operates three computers in the Washington,

D. C. area at present. The smallest, a Control Data Corporation PDP-5

paper tape unit, is used in conjunction with a radio -teletype network

to process oceanographic observation oata recorder by Coast Guard

vessels and forwarded by message. In one application, corrected

readings are reported to the Navy fleet Weather Center, Monterey,

1within 12 hours from the time oi original recording at sea. A markeo

increase in the numoer of oceanographic observations and potential ap-

plications in this rapidly growing field suggests a need for greater ADP

capability

.

The administrative data processing at Coast Guard Headquarters

is performed on an IBM 1410, 40K system. Applications include person-

nel accounting (military, civilian, reserve, and retired), payroll, finan-

cial and property accounting, program budget, and various statistical

applications in such fields as search and rescue, motor boat accidents,

Zmerchant vessel casualty cases, and field unit operations.

An IBM 1130 computer with 8K word memory is used by Coast

Guard engineers for such design and computational applications as

Interview with CDR. R. Linn more. Commanding Officer, CoastGuard Oceanographic Unit; and IXDR K. Palfrey of his staff on January25. 1967.

^Interviews with CDR. C. Unsixm, Chief Data Processing Division

USCG on January 18, 19 and February 1, 1967.

10

spectrum analyses for LORAN -C (a long range electronic navigational

aid); candle power and signal light intensity analyses; buoy design; time-

difference, base "line ana azimuth calculations (also for lOKAN-C), and

similar programs. A recent application with apparent potential for

other users is a Monte Carlo model for simulating helicopter engine

operation.

Since 19 ;>8, the Coast Guard has operated a computer-based

merchant vessel reporting system (AMVJLR) which provides the current

position of vessels and other vital information for use in search and

rescue cases. Coverage was expanded in 1965 to include the Pacific

Ccean as well as the 'tlantic. The computer presently used with this

system is an IBM 1401 with UK located in New York City. An IBM

Ih&d model, used only for educational purposes, is located at the Coast

Guard Academy in New Condon, Connecticut. The Coast Guard Yard,

a vessel repair facility located at Curtis Bay, Maryland, uses an IBM

14U1, 4K system for engineering and administrative purposes. In

^lizabeth City, North Carolina, applications relating to aircraft main-

tenance as well as administration are performed on the IBM 1440 at

the Aircraft Repair and Supply Center. A supply -oriented Honeywell 120

system will be installed at the Coast Guard Supply Center Brooklyn,

Interviews with FNS's Wegner and DeChamps, EngineeringDivision, Coast Guard Headquarters on January 19, 1967.

21

New York, in December 1967. AM punched card systems are used for

administrative functions in the twelve Coast Guard District offices lo-

cated throughout the United States, including Hawaii and Alaska.

FEDERAL AVIATION AGENCYi —ii i n iii i« -!—. —— M iiMiiwi-ii 'W tmm

The Federal Aviation Agency had an authorized staff of 44,232

2persons and a budget of just over $1 billion in fiscal 1967. Tasks in-

clude promoting and developing air commerce and civil aviation; regu-

lation and control of air space; research and development in a variety

of air related fields; registration of aircraft; examination of pilots;

and furnishing technical assistance to other countries. Facilities

operated by the FAA include Dulles International and Washington Na-

tional Airports; control towers at more than 250 other airports; twenty

air route traffic control centers; and a number of flight service stations

and air navigational aids.

In addition to responsibility for the supersonic transport (SST)

program, FAA is active in the vertical takeoff and the short takeoff

and landing (VTOL and STOL) programs. Under development is an

all-weather landing system which will permit airport operations under

^——— i ! ! i w>i w^^*i^^^wM^ , |in ii mi ' ' wi i — — ——w — mm mm mwrn* n *'n»i" ""www—tw>—»*—>€ w i wii mum iwtw»

1

Interview with LCDK J. Morrow, Chief, Management SciencesBranch, Coast Guard Headquarters on January 19, 1967.

2U.S. Senate Hearings on 3. 3010.. Part 2, p. 179.

U. S. Federal Aviation Agency, The jEetieral Aviation Agency ,

September, 1964, pp. 1-20.

22

zero visibility conditions. Extensive use of Automatic Data Processing

in both research and operational programs characterizes this agency.

Administrative processing at the V, ashington, D. C. headquarters

is performed on an IBM 1401, 16K computer scheduled for replacement

by an IBM 360 model 30, 32K system in May 1967. Applications include

facility record maintenance, payroll, general accounting, cost accounting,

personnel, property inventory, and the civil notice to airman (NOTAM)

system. A military NOTAM system presently operated by an Air Force

detachment in the FAA headquarters is scheduled to be combined with

2the civil system. Both convey information to pilots and other inter-

ested parties concerning condition of radio aids, airports, and lights.

FAA Regional Offices at Anchorage, Honolulu, Los Angeles,

Fort Afcorth, Kansas City, Atlanta, and Jamaica, New York utilize IBM

1401 card -oriented computers for business and administrative purposes.

Applications include payroll, general and cost accounting, and FAA air-

craft and facility record maintenance.

The FAA Aeronautical Center in Oklahoma City is the principal

supply, training, equipment repair, and record -keeping facility for the

agency. Computers presently used include IBM 7040, 1401, and 360

model 30 systems. Applications include maintenance of central files

for pilot licenses and medical records, aircraft registrations, and other

Interview with T. Grieg, Computer Operations Branch, Jan. 23, 1967.

interview with Sgt. W. Braddock, USAF, Jan. 23, 1967.

23

aviation information systems as wall as payroll, accounting, supply, in-

ventory, ana property records.

The National Aviation Facilities Experimental Center (NAFFC)

in Atlantic City, New Jersey conducts a major portion ol the research,

development, testing, and design work performed by the FAA. Some ad*

ministrative work is processed on an IBM 1401 ccomputer, but the large

scale IBM 7090 system Is mainly used for simulations and other ex-

perimental projects in such areas as air traffic control and all-weather

landing systems. NAFFC Is also the site of the first of twenty IBM

9020 systems which will be installed in air route traffic control centers

around the country in the next few years. This air traffic control sys-

tem represents the largest computer application in terms of cost and

capability coming into the Department of Transportation and is dis-

cussed in more detail below.

Air traffic controllers at each of the route centers and airport

towers use flight plan inputs, weather data, radar presentations, and other

inputs to control the movement and spacing of aircraft in their sectors

and to pass each flight to the next sector at the appropriate time. The

multitude of variables and calculations required in this 24 hour 365 day

a year operation create a need for reliable automated systems. UNIVAC

File computers are presently used in the air route traffic control

Persons interviewed with respect to general purpose systemsinclude J. Rickard, M. Francis, and L. Yarnell at FAA HQ, January23, 1967.

24

centers (ARTCC's) in Nashua, New Hampshire; Gberlin, Ohio; Indian-

apolis, Indiana; and Lees burg, Virginia. The ARTCC in Ronkonkoma,

New York has an IBM 1410 and an IBM 1401 installed. The 5ACE

facility at Great Falls, Montana performs double duty as an ARTCC

and an Air Defense Command center.

Each of the twenty new IBM 9020 systems being phased in will

cost from $12 to $15 million depending on the specific configuration

and amount of memory required at the individual ARTCC. In addition

to assisting human controllers by computing safe routes, spacing, and

other information for each flight on a continuous, future basis, the sys-

tem will have the capability of placing an electronic tag next to each

radar target on the controller's scope, telling him the plane's flight

number, altitude, and whether it is climbing or descending. The 9020

systems are of modular construction with physically separate storage,

computing, and control elements in the central processor. Multiples

of each element are provided which can be joined in any desired combi-

nation. This is called a "fail safe, fail soft'* system by the Federal

Aviation Agency. The second of the IBM 9020 systems was recently in-

stalled at the ARTCC in Jacksonville, Florida where it is currently

2going through the test phase. Central programming for all 9020

1

Interview with I_t. Col. A. B. Cowart, USAF, presently assignedwith FAA in Configuration Mgt. Branch on January 30, 1967.

2Interview with Mr. J. R. Seitz, Chief Test Branch, National Air-

space System Program Office of FAA on January 30, 1967.

computers will be performed at the NAFEC facility in Atlantic City,

r uture plans call for extension of the system to major terminals as

well as ARTCC's. There is also a possibility that the standby capa-

city of the 9020 computers can be used to take over some of the ad-

ministrative data processing for FAA.

BUREAU OF RAIjLRQAD SAFETY AND SERVICE.

and

BUREAU OF OPERATIONS AND COMPLIANCE,

These segments of the Interstate Commerce Commission had a

staff of 497 persons and a budget of about $6 million in fiscal 1967

.

Functions transferred to the new Department of Transportation include

preparation and administration of safety regulations for railroad trains,

locomotives, motor vehicle carriers (bus and truck), and pipelines (ex-

cept natural gas.) In addition to inspecting carrier equipment, opera-

tions, and records and investigating serious accidents, these offices

receive carrier reports and publish various statistical bulletins. The

safe packing and transportation of dangerous articles and explosives

come within the responsibility of this element.

Computer programs are presently utilized by one section in

each Bureau and are currently processed on the Interstate Commerce

— i i n i in——— 1

1

» ii i »— ip — . i» .I. ——— i i

U. S. Senate Hearings on S. 3010., part 2, p. 183.

26

Commission's RCA 301, 20K computer located in the V ashington, D. C.

headquarters building. Most relate to rail accidents and motor carrier

accidents and the input data is taken from carrier reports and records

ol investigation. Another set of programs relates to equipment inspec-

tions. Since most of the programs are written in KPG language for

the RCA 301 and are not compatible with the IBM equipment of the other

elements coming in to the Department of Transportation, special ar-

rangements or reprogramming will be required.

GkLAT LAKES PILOTAGE ADMINIS fRATION

The Great Lakes Pilotage Administration had an authorized staff

of six persons and a budget of about $97 thousand in fiscal 1967. Func-

tions include regulation of pilotage on the Great Lakes, establishing rates

and charges for pilot service, and registration of Lake pilots. The Ad-

ministration acts jointly with its Canadian counterpart in establishing

standards and rates. No automatic data processing services are cur-

rently used by this element.

SAINT LAWRfcNCE SEAWAY DEVELOPMENT CORPORATION

The Saint Lawrence Seaway Development Corporation had an

authorized staff of 162 persons and a capital value --net worth of just

3over $118 million in fiscal 1967. The Corporation operates on a

Interview with C. Greene of ICC Program Staff, Jan. 25. 1967.

2U. 3. Senate Hearings on S. 3010. , Part 2, p. 178.

3Ibid., p. 177.

27

sell-supporting revolving fund basis utilising tolls as a chief source of

revenue to defray cost. In addition to operation and maintenance of the

Seaway, necessary dredging and construction work is performed jointly

by the Corporation and the Saint Lawrence Authority of Canada. This

latter agency currently provides automatic data processing services to

the Corporation in the areas of statistical data and billings, on a re-

imbursable basis.

BUftLAU O* SAFLTY OF THE- CIVIL AERONAUTICS BOARD

fne Bureau of Safety of the CAB had an author ed staff of

186 persons and a budget of nearly $3.5 million in fiscal 1967. Func-

tions include investigating all fatal accidents involving civil aircraft;

recommending probable cause for all accidents (including those non-

fatal fixed wing accidents investigated by the Federal Aviation Agency);

publishing reports on accidents and causes; and making analyses and

recommendations toward reduction of future accidents.

Although the Bureau of Safety has no ADP equipment of its own,

it has made extensive use of the IBM 360 model 30, 64K system which

services all elements of the Civil Aeronautics Board. The Analysis

Division of the Bureau of Safety prepares a data sheet for every aircraft

lU. S. Senate Hearinas on S. 3010. , Part 2, p. 182.

Interviews with Mr. A. Goldman, Chief of Information Serviceand Program Section and Mr. F. Hollowell, Chief of Analysis Division,

Civil Aeronautics Board on Jan. 30, 1967.

28

accident* which is then transformed into punched cards and magnetic

tape. Through a series of computer programs this historical file can

be used a number of ways. Finding similarities in accident charac-

teristics, as an aid to analyzing causes, is one important application.

It is also used to prepare reports and summaries for in-house and

public use.

Additional ADP applications in the Bureau of Safety are pres-

ently limited to two FORTRAN programs used by the Engineering

Division to obtain information from a plane's Flight Recorder. If this

instrument is salvaged from an accident, such parameters as heading,

air speed, altitude, gravity and wind force can be printed out for any

desired time increments prior to the accident.

ALASKA RAILROAD

The Alaska Railroad had an authorised staff of 930 persons

Zand a capital value —net worth of about $136 million in fiscal 1967.

Financing is conducted on a revolving fund basis similar to that used

by the Saint Lawrence Seaway. In addition to operating and maintaining

483 miles of railroad, this element controls a tug and barge line, docks

1

The accident analysis and statistical reporting functions for

aircraft, railroad, motor vehicle, motorboat and vessel presently

carried on by different elements of the new Department, with varyingdegrees of automation, appear on the surface to offer some potential

for integration. Procedural differences such as codes, type and amountof information required are significant but not unresolvable.

2U.S. Senate Hearings on S. 3010., Part 2, p. 181.

29

and terminals. The chief objective of the Alaska Railroad is to pro-

mote the development and settlement of the largest State. An IBM

1440 computer located in Anchorage performs administrative data pro-

cessing functions.

This completes the list of physical elements united by the De-

partment of Transportation Act of October IS, 196b. Certain other re-

sponsibilities and functions which did not include ' "people transfers**

were also assigned to the new Department. As shown by Appendix A,

many transportation elements of the Executive Branch were excluded

by the legislation. Although this chapter is not c oncernee with the

causes of that action, it should be pointed out here that many of the

excluded elements also use ADP in some degree. Their systems

should be considered in any future studies of or reorganizations of

governmental ADP activity in the transportation field. One example is

the statistical processing and analyses of vessel movements and cargo

performed by the Maritime Administration in the Department of Com-

1merce.

This description of the size, functions, ADP capabilities and

applications of the elements entering the new Department has pointed

U. S. House of Representatives, Committee on Post Office andCivil Service, Subcommittee on Census and Statistics. Hearings on

Government Electronic Oata Processing Systems . 89th Cong., 26 Sess.,

June 1966., p. 40

30

up some similarities, but also a vast range of differences. The next

chapter will discuss the pressures for coordination of these automatic

data processing systems and the amount of coordination required.

CHAPTER III

COORDINATION OF AUTOMATIC DATA PROCESSING

Governmental pressures to coordinate automatic data processing

in the new Department of Transportation include both the government -

wide pressures to coordinate ADP which have grown stronger in recent

years and the particular need to coordinate transportation policies and

activities which led to creation of the Department. This chapter will

examine these forces in some detail as well as considering some of the

broader aspects of information system coordination and the attitudes and

philosophies of individuals. The unique requirements and opportunities

of an organization which comes into being suddenly, rather than slowly

and traditionally, are discussed, as well as the special needs of program

budgeting.

In the late 1950*s, it became evident to both the Executive and

Legislative sides of the government that ADP and particularly electronic

computers could no longer be managed in the generalized fashion of

other office equipment. The General Accounting Office puolished its first

study on ADP management in government in 1958 and the Bureau of the

Budget completed a study on ADP responsibilities in 1959. A need for

— m mi ib ,w i hii i i .m w —» i — ii , i m i i iii »m m> '- ' i n . m — ' w mm n— mm , — »» w !! — ,

Appendix D to this paper includes specifics for governmental studies,

reports, ano items of legislation referred to in this chapter.

31

32

specialized management and Government-wide coordination was recognized.

In I960, the Bureau of the Budget published guidelines for studies to pre-

cede the acquisition of A DP equipment (Bulletin 60-6) and the GAO made

another comprehensive report to the Congress calling for more positive

central planning to promote efficiency, economy, and effectiveness in

ADP administration and management.

Circular A -54 issued by BOB in 1961 outlined policies for se-

lection and acquisition of ADP equipment including exact system speci-

fications and lease versus purchase evaluations as principal considera-

tions. Commencing in 1962 agencies were required to furnish annual re-

ports on ADP inventories and utilization to BOB. The 1963 report of

GAG stressed the dollar savings which could be achieved if the Govern-

ment purchased a larger portion of its ADP equipment, and again cited

a lack of effective coordination by the Executive branch. A bill to pro-

vide for increased government-wide coordination was passed by the

House in 1963 (H.R. 5171) but was not acted upon by the Senate. BOB

Circular A -61, issued in 1963, contained revised guidelines for apprais-

ing agency practices in the management of ADP equipment and recom-

mended that a central ADP authority be set up in each Federal agency.

This central staff was expected to coordinate the programs of individual

elements of the agency, to assure compliance with policies of higher

authority, to encourage agency -wide and interagency planning and inte-

gration, and to foster and coordinate time -sharing of equipment.

33

The 1964 report of the Comptroller General noted some im-

provements in government ADP management but was critical of the

agency -by -agency approach, it stressed the point that maximum

economy and efficiency in procurement and utilization of equipment

could not be achieved without centralized coordination which would

consider overall Government interests. BOB Bulletin 64-9 announced

the establishment of an experimental computer sharing service at the

National Bureau of Standards and BOB Circular A-27 extended and ex-

panded the computer sharing program to other areas. The General

Services Acministration was given the job of coordinating a sharing

program for all Executive agencies.

The results of an extensive study of ADP management prac-

tices in government, sponsored by the Bureau of the Budget, were pub-

lished in early 1965 } On March 6th of that year, BOB issued Circu-

lar A -71 which implemented the recommendations of the study by defin-

ing the ADP management responsibilities of BOB, GSA. the National

Bureau of Standards, and the Civil Service Commission, as well as those

of individual agency heads. BOB was designated as the source of over-

all leadership and coordination while GSA, NBS, and CSC were assigned

specific responsibilities for equipment, technical assistance, and per-

sonnel. Agency heads were charged with a number of specific

Commonly referred to as the "Clewlow Report,** for Mr.Carl W. Clewlow who directed the staff work for the study.

34

responsibilities which are repeated here verbatim since they represent

the most comprehensive official answer found during this study to the

question "V hat coordination of data processing is required in the new

Department of Transportation .

":

7. Responsibilities of the heads of executive agencies. Theheads of all executive departments and establishments areresponsible for the administration ana management of their

automatic data processing activities including:

a. Agency -wide planning, coordination and control of

equipment utilization.

b. Determination and use of those equipment applications

that offer the greatest return in terms of increasedeffectiveness in mission accomplishment and higherproductivity.

c. Development of data systems that employ the use of

the most advanced design techniques.

d. Merger or integration of data systems irrespective of

intra-agency or interagency organizational lines,

/Italics mine/ when cost effectiveness in equipmentutilization, data systems management, or programaccomplishment can be increased.

e. Determination of automatic data processing equipmentrequirements.

i. sharing equipment time and services within the agency,

and with other agencies through support of the Govern-ment-wide program for sharing exchanges* cooperation

in the establishment of service centers and other inter-

agency joint use arrangements.

g. Consideration of the potential impact of the introduction

of ADP equipment on the agency work force and taking

such steps as are necessary to alleviate adverse effects

to the greatest extent practicable.

h. Participation in Government-wide studies and programsfor improving the administration and management of

35

automatic data processing activities in the executive branch.

The General Accounting Office and certain Congressmen did

not believe that the guidelines for ADP management set forth by BOB

were sufficient in themselves. During the 196i> Hearings on H.R.

4845 they called for increased centralized management and coordina-

tion on a government-wide basis. Frequent mention was made of the

some 100 audit reports from GAO between 1958 and 1965 which re-

vealed deficiencies in ADP management on the part of individual agen-

cies, despite BOB directives then in effect.

ZH.R. 4845 became law under the title of P.L. 89-306 late in

1965. The Administrator of General Services was given primary oper-

ational responsibility for coordinating ADP management on a govern-

ment-wide basis. The Bureau of the Budget retained fiscal and policy

control while the National Bureau of Standards was charged with pro-

viding technical support and advisory services to individual agencies.

Responsibility for determining internal ADP requirements and systems

design remains with the using agency, while procurement is to be made

by GSA from a revolving fund. Hearings on government electronic data

processing systems held by a House subcommittee in June 1966 indicate

U.S. Bureau of the Budget Responsibilities for the Adminis -

tration and Management of automatic oata processing Activities.

Circular No. A-71., (Washington: March 6, 1965), pp. 4-5.

Commonly referred to as the "Brooks Bill,** for its

originator, the Hon. Jack Brooks, Representative from Texas.

36

that the full impact of the legislation has yet to be felt by most gov-

ernment agencies. An indication of future trends is provided by re-

cent developments within the department of Defense.

A more rigid system for coordination of management informa-

tion systems was announced by Secretary WcNamara during July 1966.

Pointing out that DOD operated almost 2,000 of the 2,600 computers

used by the Federal Government at that time, Mr. McNamara urged

DOD managers to set an example for the rest of the government to

follow

:

It is essential that we increase our efforts to improve the useof computers. Lefcnse managers must educate themselves onthe uses and capabilities of the computer; evaluate and clearly

state requirements for management information; and exercisepositive direction to ensure that these requirements are metby the computer system.

w e must take advantage of the tremendous capabilities of the

computer for data collection and analysis. V e can no longertolerate computer systems which are merely reflections of

earlier manual and punch-card systems, but must insist onsystems which satisfy our total management and operating re-quirements and which exploit the unique capabilities of the com-puter.

V»e must develop and install standard data systems within the

DoD at a level far exceeding our current practices. Thesestandard data systems must be developed for research anddevelopment and operational systems as well as businessmanagement-type needs. These systems should be designedto provide for uniform integration within functions on a serv-ice/agency-wide basis. Standardization is mandatory for all

systems with multi -activity application opportunities. This

requires centralized systems design/machine programming

37

at the highest level pertinent to the system application.

It is not being suggested here that all agencies must adopt

the practices and philosophies of the Defense Department hut it is be-

lieved that Mr. KIcNamar&'s policy statement is representative of the

current trend in the federal Government. As standardization and in-

tegration of ADP systems and information networks increases, auton-

omous computer installations will become more the exception than the

rule. This is the environment faced by the Department of Transpor-

tation as it commences operations.

Accepting a responsibility for increased coordination in the

automatic data processing area should not be particularly difficult for

an agency which was primarily created for the purpose of coordination.

The words coordination, coordinate, and coordinated appear 13 times

in the 3 1/2 page statement of objectives submitted to the Congress.

The special significance of coordinating successfully was emphasized in

an editorial which dealt with the elements and responsibilities not placed

in the new Department:

U. 5. Secretary of Defense Memorandum "Management and

Use of the Electronic Computer/* Washington, D. C, July 29, 1966,

pp. 1-2. He printed as enclosure (2) to Secretary of the Navy Notice,"Annual Guidance for the Preparation of Management Information Sys-tems Plans and ADP Plan Supplements ," Su.CNAV NOTICE 5200,

CMI:SDD, Jan. 13, 1967.

2U. 5. House Hearings on Creating a Department of Transporta -

tion, Part II, pp. 760-63.

•

36

Because of the objections of fiercely competing interest groups,

the new Secretary -will not be able to make a frontal assault onthe problems of coordinating the various transport services andensuring the efficiency of public investment in new facilities. Toaccomplish these ends the Department of Transportation musthave a voice in regulation of rates charged by the commoncarriers as well as in the investment decisions that are nowmade by a half dozen unrelated Federal agencies.

The best hope for causing the necessary powers to gravi-tate toward the Department of Transportation lies in excellent

performance. If Mr. Boyo can accomplish the speedy and

smooth integration of the existing agencies in the new Depart-ment, a compelling case can later be made for new andbroader powers.*

Much of the testimony during the Hearings which preceded the

Transportation Act centered on the question of the amount of power to

be placed in the office of the Secretary. The Chairman of the Trans-

portation Committee of the Second Hoover Commission stated that the

new Department should be left in a posture which would permit the

Secretary to exercise his own organizational judgment. He gave this

reason for his recommendation:

A Department of Transportation, properly administered andrealistically and ruthlessly drawing together the transportation

functions and activities covered by S. 3010. can substantially

contribute toward governmental simplification, efficiency, andreduced federal expenditure.^

Effective coordination of the diverse elements which make up the

new Department will require both power and strength. On the date he

signed the Transportation Act, President Johnson said that it would be

Editorial, The Washington Post, Nov. 9, 1966, p. A 24.

Mr. Perry M. Shoemaker, cited in U.S. House Hearings onCreating a Department of Transportation, Part II, p. 712.

39

a mammoth task to untangle, coordinate and build the national trans-

portation system. The Chief Executive told a group of guests assem-

bled at the ft hite House on that occasion what kind of man he wanted

for the post of Secretary of Transportation:

Because the job is great. I intend to appoint a strong man to

fill it. The new Secretary will be my principal adviser andstrong right arm on all transportation matters.*

Three months later, at the swearing-in ceremony for the

newest member of the Cabinet, the President descrioed the task facing

Mr. cJoya in these terms:

Alan Boyd will undertake a major assignment in attemptingto coordinate a national transportation policy for this land of

ours. He will attempt to get economy and efficiency, and give

the kind of results that the American people would like to point

to with pride.2

Much of the justification for establishing a separate Depart-

ment of Transportation was based on the cornerstones of economy and

efficiency. In both Senate and House Hearings, witnesses frequently

referred to potential dollar savings which could be realized after its

creation. Automatic data processing was often mentioned as a fruit-

ful cost-reduction area. The Director of the Bureau of the Budget told

the Senate Committee on Government Operations that:

There shoulc be possibilities for immediate savings throughsharing computer time. The prospects for long-time savings

1 uoted in The New York Times, October 16, 1966, p. 1.

viuotec in The V> ashington Post, January 17, 1966, p. A 2.

40

through coordinated or consolidated computer operations are

excellent.*

The head o£ the Federal Aviation Agency, which brings the

largest ADP budget and capability into the Department, reinforced this

view;

1 think economies are possible* because when you bring all ol

the different agencies and functions in the Department of Trans-portation, then you can start to consolidate overhead. For ex-ample, one tremendous area is in the ADP, automatic dataprocessing, where you can get more utilization out of yourcomputers, for example on payrolls, also many other areas .^

After the Hearings, the Committee on Government Operations

reported favorably on the Transportation Act to the whole House of

Representatives and cited several specific areas for potential economy

in ADP. Noting that there were 44 computers at 21 different cities

involved in the transfer, the Committee Report stated that savings of

$221,000 might be achieved within two years. These savings would

come from transferring ADP work performed by contractors to in-house

computers and also from making more effective use of present com-

puters. Commencing with the third year after creation of the Depart-

ment, annual ADP savings of $400,000 were predicted if certain actions

were taken:

These might develop through consolidation of Washington head-quarters computers into a departmental data processing center

«—— » i^——»~»~—

I

I —»—^——mm I II »i i n i i i .ii ~^m—~-, i m in n i

Hon. Charles Schultze, Senate Hearings on S. 3010, Part I, p. 82.

Gen. William F. McKee, House Hearings on Creating DOT ., p. 136.

41

and centralization of personnel and payroll data processing

functions.

Further long-term improvements in computer usage, requiring

in-depth study, were noted as possibly saving up to $1,670,000 per

year. The use of FA A Air Route Traffic Control Center reserve

computer capacity was mentioned as being several years away, but

it was stated that such use, if feasible, would eliminate the need for

several small computers.

These potential economies were suggested to the Congress by

the Bureau of the Budget and were arrived at in a study conducted by

representatives of BOB and the individual agencies. As will be dis-

cussed in more detail in chapter IV of this paper, the study included

the Maritime Administration which was not finally placed in the De-

partment of Transportation. Further, the study was admittedly a broad

survey and it was noted that each item of potential savings would re-

quire individual in-depth study before positive action could be taken.

Nonetheless, since ADP savings were used as one justifica-

tion for the new Department, it is reasonable to expect that some mem-

bers of the Congress with long memories will be inquiring in future

Hearings on budgetary and other matters what has been accomplished

along these lines. Since most of the computer usage improvements

lU. S. House, Committee Report No. 1701 , p. 11.

43

involve more than one element, coordination at the Departmental level

is essential. There are too many real problems and complexities in-

volved with any change in computer systems to expect the operating

agencies to undertake the necessary in-depth studies without impetus

being provided from the Departmental echelon.

No criticism- is intended of the operating elements or their

willingness to be coordinated and to cooperate in cost -reduction pro-

grams. The fact remains that their principal and valid concern is

with the day-to-day execution of the programs and activities for which

they are responsible. ADP coordination for the realization of savings

is principally a responsibility for a central ADP management staff.

The job of the staff in this regard has been made easier by

recent trends in the ADP field. The latest UNIVAC computers, series

9000, have been reported to be compatible in many respects with the

IBM system 360 computers* According to one writer, the decision which

led to this increased compatibility between the equipments of these two

large manufacturers:

represents a giant step toward improved communication amongcomputers, lower re -programming and retraining costs, lesseneddependence upon a single equipment supplier, and greater stan-

dardization throughout the industry.!

It would be unwise however to suppose that, oecause standard

codes, compatible equipments, and common languages such as COBOL

John R. UUlegas, "The New UNIVAC 9000 Series,'* Data Pro -

cessing Magazine, August, 1966, p. 53.

43

and FORTRAN have become increasingly prevalent, the coordination

of ADP systems and installations is a simple matter. Knowledgeable

persons interviewed during this study almost universally pointed out

that there are countless differences between computers and between

the systems of which they are an integral part. One illustration of

the dangers of an oversimplified approach lies in the subject of

monthly usage rates for different computers. A computer which runs

24 hours a day the year round may be programmed inefficiently or

may be performing tasks which should not have been placed on a com-

puter in the first place. Another computer with considerably less

hours per month to its credit may be contributing greatly to the ob-

jectives of the organization and may actually be saving money also,

because of the nature of the jobs it performs and the efficiency of its

programming.

The Clewlow Report emphasizes the need for caution in search-

ing for simple solutions in the opening paragraph of its first chapter:

Failure to give adequate recognition to the differences that

exist among computer installations has complicated the problemsof management and contributed to misunderstanding. These dif-

ferences are due to variations in the missions of agencies using

the installations, in operating objectives, and in operating re-quirements surrounding the use of computers. Also, installa-

tions vary in respect of the qualifications required of their

staffs and the kinds of equipment that arc used. The purposesfor which computers are used cover the breadth of governmentalactivity.^

U. S. Senate, Committee on Government Operations. Report to the

President on the Management of Automatic Data Processing in the FederalGovernment. Document No. 15, 89th Cong., 1st Sess., March 4, 1965, p. 9.

44

further complications arise when computers are considered

in the context of a larger management information system complex.

Management theorists differ substantially on what constitutes the best

type of management information system for a large organization. Is-

sues which quickly come to the surface in this type of discussion in-

clude the proper location for decision-making functions, centraliza-

tion versus decentralization, and line authority versus staff responsi-

bility. While it is not the purpose of this paper to prescribe a

management system for the Department, it would be taking too nar-

row a view to discuss ADP coordination without mentioning the broader

aspects also.

John Dearden has pointed out that management's first con-

cern should be the adequacy and quality of its information system,

particularly with respect to strategic planning and management con-

trol. There are techniques available at present for achieving any

level of automation and standardization the budget will stand. By re-

quiring the individual elements to use standard cooes and standard

formats, a central staff component can collect the ADP tapes used by

each activity and merge them on a central computer for such analyses

as top management desires. Such an approach requires that top

* 'Management Information Systems and the Computers,*' Man -

agement Control systems --Cases and Ke actings, by Robert N. Anthony,John Dearden, and Richard F. V>ncil (Homewood, 111.: Richard D.Irwin, Inc., 1965), p. 519.

45

management recognize the capability of computers to tighten coordina-

tion throughout the organization. It further requires that management

believe that tighter control is desirable. V bile many organizations

have not chosen to adopt this centralized approach, it is suggested

here that the Department of Transportation will eventually do so, be-

cause in addition to the pressures already mentioned, the planning/

programming/budgeting concept points that way.

The Bureau of the Budget directive which extended the

planning/programming/budgeting system developed in the Defense De-

partment to other Federal agencies stated that an output -oriented pro-

gram structure should be designed by each agency to present data on

all operations and activities in categories which reflect the agency's

•ad purposes or objectives. It was further noted that:

The program structure will not necessarily reflect organiza-tion structure. It will be appropriate and desirable in manycases to have the basic program categories cut across bureaulines to facilitate comparisons and suggest possible trade-offs among elements which are close substitutes. It is also

desirable to develop program formats which facilitate com-parisons across agency lines.

*

The Task Force which laid the groundwork for the new De-

partment recognized its opportunity to develop a unique organization.

L. R. riock, Jr. "Seven Deadly Dangers in EDP,"Harvard Business Review, May -June 1962, pp. 88-96.

ZU.S. Bureau of the Budget Planning -Programming -Budgeting .

Bulletin No. 66-3, (Washington; Oct. 12. 1965), p. 5.

46

An unpublished briefing paper entitled "Concept of Organization'*

written in late 1965 stressed the fact that the merger of existing

agencies need not be bound by traditional organization lines* and that

modern management principles and techniques could be used to pro-

duce a coordinated team, capable of total transportation effort. Also

recommended was the consideration of a coordinated planning/ pro-

gramming/ budgeting system for the new Department, combined with

an analytic capability at the Secretary's level.

To realize the unique advantages of oeing a new organization

and to implement the spirit of the planning/ programming/ budgeting

directive, the Department of Transportation will require a great deal

of internal coordination. It will probably not be sufficient to merely

patch together the present program structures and information systems.

A total approach which utilizes the full potential of computers to es-

tablish the desired degree of centralized control is more likely to prove

successful.

The human relations aspects of the coordination problem should

not be overlooked. Steps should be taken by the central ADP staff to

minimize the effects of resistance to change which may develop within

the operating elements. As noted by one writer:

Resistance to change is a fundamental attitude present in all

people to different degrees. The best of plans has been known

Interview with Task Force member, CM David F. Lauth,USCC on January 19, 1967.

47

to fail because those principally engaged in carrying out the

procedure were not consulted in its development and, as a

result, had made up their minds before testing, that the

change would not wor»*.*

AJDP coordination is a complex and difficult task. Involving

the managers of AJDP facilities and the users of ADP outputs in the

planning process will ensure that all problems and viewpoints are

given proper recognition before any changes are finalised.

It has been shown that the pressures for coordination of

automatic data processing in government and in the new Department

are both real and strong. They stem from many causes but the over

all effect is toward increased integration and standardization of AD?

systems. The next chapter will discuss in more detail those steps

which have already been taken to improve coordination in this im-

portant area.

John V* . Haslett, "The Systems and Procedures Department,**Systems and Procedures—A Handbook for Business and Industry,

ed. Victor Lazzaro (Lnglewood Cliffs: Prentice -Hall, Inc., 1959), p. 17.

PROGiifcSS TO DA7

Several positive steps have already been taken toward the

achievement of coordination of automatic data processing in the De-

partment oi Transportation. Starting prior to the {-resident's request

to the Congress for a new cabinet-level agency and continuing through

the time this paper was written in March 1967, many individuals from

the elements and from other governmental offices have worked long

and haro to reach the point where matters now stand.

The first time that representatives of the individual elements

met together to discuss ADP capabilities occurred at an early stage in

the preparation of the President's proposal. Under the general super-

vision of Bureau of the Budget staff members, a broad study was made

of the possible savings which could be realised in the ADP area, as a

result of integrating and sharing present resources, once the battle

on Capitol Hill for estaolishment of a Department of Transportation

terminated, and the identity of the elements which would be included

was known, another interim group met to determine which elements

woula need special AiJP services curing the transition period from one

organizational structure to another. At the same time, other members

43

49

of an Executive Task Force were attempting to work out questions of

organization, assignment of functions and responsibilities, and deter-

mination of the size and grade level of the central Departmental

staff. Recruitment and selection of personnel to fill staff positions

was begun, and the critical question of the first year's budget was

addressed.

In addition to the groups working within government lines, a

management consulting firm was conducting an independent study of

information needs In the Department of Transportation. This chapter

will examine each of these actions in some detail, as they relate to

the ADP coordination theme.

Representatives from the Bureau of the Budget, Bureau of

Public Roads, Coast Guard, Federal Aviation Agency, and the Mari-

time Administration held several meetings In late 1965 and early 1966

on the subject of possible ADP savings. Emphasis was placed on dol-

lar and manpower savings which could be attained through cooperative

arrangements between elements, rather than on savings which indivi-

dual elements could achieve within their current organizations. In

this way, potential savings could be directly attributed to creation of

the new Department. Previous attempts to form a Department of

Transportation, most of which took place prior to the computer age,

Interview with Mr. Clark Renninger, ADP ManagementBranch, Bureau of the Budget, February 3, 1967.

50

had a Iway* been defeated La the Congress, because sufficient justifi-

cation and support to overcome the opposition of carriers and indus-

try groups could not be generated. The potential savings to be

realized through more efficient use of computers was recognized as

a major factor in support of the current proposal.

After considering the possibilities for savings from joining

the ADP capabilities of the Office of the Under Secretary of Com-

merce for Transportation, Bureau of Public Boads, Maritime Ad-

ministration, Federal Aviation Agency, and Coast Guard in the

Washington, D. C. area, the group also considered various possi-

bilities for combinations and savings in other locations. The results

of their study were submitted to the task force which was preparing

2the legislative proposal. The report contained many qualifying

phrases such as "reasonable on a conceptual basis," and "fraught

with administrative difficulties, " which were intended to warn a

casual reader that these potential savings were only possibilities

which would require a great deal mov study in depth before they

would be implemented and realized.

L. S. House Hearings on Creating a Department of Trans-portation , Part 2, pp. 819*24.

2Unpublished report of DOT task-force sub-group on ADP,

submitted March 1966, p. I.

interview with LCDR J. Morrow, USCC, January 19. 1967.

51

Among the specific Items which the group believed to be de-

serving of further study to determine if they were, in fact, opera-

tionally and economically feasible were the transfer of some ADP

work performed by private contractors to In-house facilities (at

a potential annual saving of $125,000.00), the transfer of certsin

Coast Guard ADP work from EAM equipment to computers

($32, 000. 00), and the curtailment of plans to acquire a new computer

for the Office of the Under Secretary of Commerce for Transporta-

tion ($64, 000. 00). The Items In this category were felt to be attain-

able within two years after creation of the Department, If the neces-

sary related decisions and actions v ere forthcoming.

The study report went on to identify further Items of poten-

tial savings In the time frame beyond two years. One possibility

considered was the consolidation of computers at the Washington Head-

quarters of each element Into a single large-scale data processing cen-

ter. An annual savings of $300,000.00 was estimated if the single

center concept was adopted. A separate Item Involving the centrali-

sation of personnel and pay-roll ADP functions was considered to

represent a possible $100,000.00 saving each year.

Certain other Items were classified as contingent on non-

ADP related factors and decisions. These Included the consolidation

at one location of the computers performing tasks related to aircraft

maintenance for the Coast Guard and the Federal Aviation Agency

52

($100, 000. 00), and the possible release of the Maritime Adminis-

tration's computer ($70,000.00). The final contingent item carried

the largest potential for dollar savings ($1, 500, 000. 00), and this was

the utilisation of reserve computer capacity at the air route traffic

control centers of the Federal Aviation Agency,

One member of the group, who characterized the study in

a later Interview as very rough and not done in depth, also stated

that the report was pointed enough that someone else could pick it

up later, and proceed from that basis toward getting something ac-

complished. * One conclusion stated in the report was that:

Potential savings appear to be in the direction of graduallyevolving rearrangements that will require program adjust-

ments, organizational adjustments, and equipment replace-

ments. *

The factors con plicating any real savings of Immediate na-

ture were Identified as the geographic dispersion of present ADP

facilities, the extensive incompatibility between equipments, and

the multi-functional nature of applications.

A final recommendation of this group pointed again to the

complexity of current ADP arrangements and stressed the need for a

strong ADP management staff at the Secretarial level of the new De-

partment, The guidelines of Bureau of the Budget Circular A-61

Mr. Benninger, BOB, February 3, 1967.

Unpublished report of ADP sub-group, p. 4.

53

were cited In support of the recommendation that a strong central

authority, which could coordinate ADP programs throughout the De-

partment, was required.

Although nearly six months elapsed before another group

met to consider the problem of Interim ADP services, the forces

working toward ADP coordination were frequently seen In the legis-

lative Hearings on creation of a Department of Transportation held

In the Summer of 1966. The testimony of administration witnesses,

cited In Chapter III of this paper, kept the possibilities of savings

through ADP coordination and cooperation before the attention of the

Congress. The extent to which this factor contributed to the pass*

age of the Transportation Act can not be measured, but It was cer-

tainly of some help.

With the signing of the legislation by President Johnson, a

new phase of coordinating activity began. On October 18, 1966, Vice

Admiral Paul £• Trimble, United States Coast Guard, was designated

the head of a new Inter-agency task force to organize and staff the

Department. 2 Within this task force, working groups composed o£

representatives from each element and the Bureau of the Budget were

Ibid. , p. 7.

*U. S. , Bureau of the Budget, "Memorandum for VADMPaul E. Trimble, USCC, Chairman, Department of TransportationTask Force," Washington, D. C. : October 18, 1966.

.

.

54

established. The Task Force was charged with responsibility for

maintaining continuity of existing operations as well as for getting

the new Department established. Areas for which plans were to be

developed and procedures outlined Included accounting, budget, finance,

personnel, office space, furnishings, services (including automatic

data processing), and other administrative matters.

Coordination of ADP support was assigned to the working group

for Support Services, which rede legatee the responsibility for ensuring

that all elements entering the new Department would receive ADP sup-

port during the transition phase to an ADP sub-group. The sub-group

was staffed, among others, by two managers of computer facilities In

the Washington, D. C. area, Mr. Keith Kohler of the Bureau of Public

Bonds and Commander Otto Unslnn, United States Coast Guard. This

assignment brought together personnel with knowledge of current ADP

workloads and operating practices, and was therefore a logical ap-

proach to the immediate problem of Interim ADP support.

The sub-group contacted all elements entering the Depart-

ment. A memorandum was prepared during December 1966 listing

those elements which had their own ADP capability and would require

no Interim services, and those elements which did not have In-house

ADP capability and would require special arrangements.

Interviews with Mr. Kohler and CDR. Unsinn, December 9, 1966.

Unpublished memorandum, from Chairman ADP sub-group to

Chairman, Support Services working group, December 6, 1966.

55

The first category included the Bureau of Public Roads, Coast

Guard, Federal Aviation Agency, and the High Speed Rail Transporta-

tion component within the Office of the Under Secretary of Commerce

for Transportation. The sub-group recommended that these elements

continue present ADP operations.

The second category Included the Bureau of Safety of the

Civil Aeronautics Board, two offices in the Lnder Secretary of Com-

merce for Transportation organization, two segments of the Interstate

Commerce Commission, and the Saint Lawrence Seaway Development

Corporation. In each case it was determined that the elements could

continue obtaining ADP services from Its present source on an In-

terim basis, and the sub-group recommended that this be done.

The Support Services working group considered the question

of ADP and other services for the Office of the Secretary of Trans-

portation. After It had been determined that the Office of the Secre-

tary would be on the 8th floor of the Federal Aviation Agency building,

the responsibility for providing general administrative support to that

office was assumed by the FAA. Accounting services were assigned

to the Coast Guard and payroll support for the Office of the Secretary

was made the responsibility of the Bureau of Public Roads. 1

The organisation structure for the new Department had

U. S. Coast Guard Commandant's Bulletin, (Washington,D. C. , December 23, 1966), p. 5.

56

begun to take shape in January 1967. Figure 1 presents a general

view of the organization as visualized by the official employee pub-

lication of the Federal Aviation Agency.

Many of the organizational details such as assignment of

functions and responsibilities, staff size, actual selection of person-

nel, and lines of authority had not been finalized at the time this

paper was written. The staff component with central ADP manage-

ment responsibility was expected to be assigned under the Assistant

Secretary for Administration. Civilian employees on the ADP staffs

of the individual elements had been given an opportunity to request

transfer to the Departmental staff. The Bureau of the Budget was re-

ported to be considering a reduction in the number of staff personnel

recommended by the Task Force, which was delaying the actual selec-

2tion and assignment of persons to jobs.

While the results of these organizational birth pangs will have

a considerable effect on the future of ADP coordination in the Depart-

ment of Transportation, none may have as great a significance as the

results of a private consulting firm's study of the information needs

of the Department, which was being conducted during the same time

frame. The gentleman who did most of the work on this study is a

widely recognized expert in the systems engineering field, and the

FAA Horizons. (Washington, D.C.: January, 1967), p. 15.

Interview with CDR D. Dauth. USCG. January 19, 1967.

•

57

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58

former head of the ADP management branch of Bureau of the Budget,

Mr. \\iliiam A. Gill.

As described by Mr. Gill, the emphasis in his study was on

finding and establishing a philosophical and conceptual groundwork for

the flow of transportation information between federal, State, and local

government bodies. Mr. Gill stressed the need for a determination

of information requirements at all level* before any attempt is made

to design an ADP information system th, meet those needs.

Since the objectives and responsibilities of the new Depart-

ment of Transportation require that its Secretary and other top offi-

cials think in terms of all modes of transportation, Mr. Gill believed

that a wonderful opportunity now existed to plan for an information

system which would foster and promote multi-modal thinking at State

and local levels as well. He pointed out that about 50 per cent of

the information concerning movement of people and commodities in

the United States is not presently reported or published in any form.

Many carriers and activities such as municipal transport authorities

which do gather and report such statistics, utilize codes and reporting

systems which are unrelated and incompatible.

Speaking to the Navy Graduate financial Management Glass,George Washington University, February 15, 1967.

Although not specifically mentioned by Mr. Gill, the codesand reporting systems of the Federal agencies studied in the courseof preparing this paper were also found to bear little similarity to

each other.

59

The conclusions which Mr. Gill intended to report to the Sec-

retary of Transportation in late February 1967 were that a staff com-

ponent devoted to information planning in the broadest sense should be

established at a high level in the Departmental structure, and that

personnel with the ability and background to think and plan in terms of

all modes should be assigned to it. This component would determine

and plan for the information needs of all levels of the Department

,

as well as those of State and local governments, carriers, other

transportation interests, and the public.

The impact of such a total philosophy, if adopted, on the

automatic data processing systems of the Department would be tre-

mendous. Once total needs were determined, common languages and

reporting systems could be designed. The integration of systems would

become standard, and a maximum of ADP coordination would be the

normal environment. Expansion of present systems to handle the great

increase of information flow would be required, and all changes and

increases to the ADP network could be made to conform to the new

multi -modal pattern.

It may take some time for this broad planning concept to

permeate the activities of the operating elements. Many practical

difficulties and problems obstruct its realisation. Yet, it would be

illogical to dismiss this type of thinking too lightly. It falls right

in line with the goals and objectives of the Department of Transporta-

tion stated in chapter I. It is responsive to the pressures for

60

increased AD? coordination described in chapter III. The first steps

have already been taken. Adopting anything less than a total approach

may just be postponing the inevitable and wasting valuable time.

CHAPTER V

SUMMARY AND CONCLUSIONS

The Department oi Transportation is the newest cabinet -level

agency in the Executive branch of the government of the United States.

With nearly 100,000 employees and an annual budget of about $6 billion,

it represents a long awaited attempt to coordinate Federal activity in

the transportation field.

The Department was created because of a need to improve on

an existing situation. Responsibility for various government policies

and programs in this field had been scattered among a wide variety

of agencies. Criticism of the lack of central leadership was heard

from many sources. Consolidation of information and research effort

was urged in such fields as transport safety and accident prevention.

The growth of all modes had brought about the increased investment

of government funds. It becameevident that the establishment of a

separate Department to deal with the problems of the present and

the future was required.

The objectives of the new Department include the coordinated,

effective administration of transportation programs, promotion of the

nation's transportation system, and development of national

61

t>2

transportation policies. :. articular attention is to be given to safety,

and to strengthening the weak points of the present transport complex.

The tasks facing the new Secretary and his central staff are formid-

able. The first test of their ability to solve the nation's transporta-

tion problem will be the facility with which they can coordinate the

efforts and capabilities of individual elements assigned to the Depart-

ment into a unified organization.

The elements which were placed in the new Department in-

clude both staff components and operating agencies. The office of

the Under Secretary of Commerce for Transportation with some 150

persons and $IB million annual budget brings a familiarity with gen-

eral transportation problems and broad policy development into the

Department. The head of that office, the Honorable Alan S. idoyd,

has been appointed as the first Secretary of Transportation. The

Bureau of i-ublic Roads with nearly 5©00 persons and an $4.S billion

budget was also transferred from the Commerce Department to the

Department of Transportation. This element is responsible for a

variety of functions relating to the nation's highways. It contributes

an important segment of the automatic data processing capability and

expertise available to the Department. A wide range of administrative

and engineering applications is currently being processed on toe

Bureau's computers.

The United States Coast Guard with its 41,000 military and

63

civilian employees and $500 million budget brings a variety of marl-

time transportation functions into the Department. ADP applications

at present include administrative, engineering, and oceanographic re*

search, as well as the vessel reporting system for search and rescue

assistance to aircraft and shipping in both the Atlantic and pacific

oceans. The Federal Aviation Agency contributes a staff of over

44,000 persons and a $1 billion budget to the new Department. In

addition to extensive ADP systems for administration of its many avia-

tion programs, the FAA also brings multi -million dollar, real-time

computer systems used in air traffic control.

Segments of the Interstate Commerce Commission dealing

with safety and accident investigation for railroads, bus, truck, and

pipeline carriers comprising about 500 persons and carrying a $6

million budget were transferred to the Department of Transportation.

The component of the Civil Aeronautics Board with responsibilities for

aircraft safety and accident investigation contributes nearly 200 persons

and a $3.5 million budget as well as an extensive computerized approach

to analysis of the cause of accidents.

Other elements included in the Department are the Great Lakes

Pilotage Administration, St. Lawrence Seaway Development Corporation,

and the Alaska Kailraod. Many differences in size, functions, and ADP

capability are evident among the various elements. A wide range of

ADP applications exists.

64

Pressures for coordination of automatic data processing in all

government agencies have grown steadily stronger in recent years. A

need for specialized treatment of ADP and electronic computers was

recognized in the 1950's. Intensive studies were undertaken under the

direction of the Bureau of the Budget. The General Accounting Office

has issued many critical reports on various phases of ADP manage-

ment. Several Congressional committees have held Hearings on the

subject and legislation was enacted in 1965 to cope with the problem

on a government-wide basis.

The responsibilities for coordination of ADP which are pres-

ently assigned to the head of each government agency include agency

-

wide planning, control of equipment utilization, development of data

systems, and the merging or integrating of data systems irrespective

of organizational lines. Coordination on a government -wide basis is the

responsibility of the General Services Administration. Increased em-

phasis on standardization of data systems is being applied within the

Department of Defense. It appears that this trend will spread to other

agencies.

The government-wide pressures for coordination of ADP are

supolemented within the Department of Transportation by the needs and

objectives of the new organization. Coordination of transportation policy

and effort was one of the major causes for creation of the Department.

Speedy and smooth integration of the existing element* will lay the

65

groundwork for later expansion of functions and powers. Coordination

for the purpose of effecting savings m ADP operations was forecast prior

to passage of the Transportation Act. idealization of these savings will

require intensive effort by a central staff.

Kecent trends in the ADP industry toward standardization of

languages and compatibility of equipments will enhance this effort.

Complex problems are introduced by the differences between computer

installations and by varying theories on what constitutes the proper

management information system for a large organization. The capa-

bility of computers to tighten controls throughout an organization will

not be realized unless top management both recognizes the possibility

and desires that it be done.

The planning/ programming/ budgeting system represents another

pressure toward coordination and integration of ADP systems. Output -

oriented program structures must be developed which facilitate com-

parisons across organizational lines. The opportunity offered by the

creation of a new Department to avoid the restrictive effect of tradi-

tion was recognized by the organizational Task Force. A total approach

to developing new program structures and information systems appears

more likely to prove successful than an approach which patches together

present systems. Resistance to change should be minimized by seeking

to involve the managers of ADP installations and the users of ADP

services in the planning and development process.

66

Several positive steps have already been taken toward achieving

ADP coordination in the new Department. The early meetings on sav-

ings between personnel from each element and the representatives of

the Bureau of the Budget considered various methods for combining and

sharing capabilities, items recommended for further consideration and

in-depth study included the transfer of contractor work to in-house

facilities, consolidation of ADP facilities at several locations, and the

possible use of reserve computer capacity at the Federal Aviation

Agency's air route traffic control centers. Complications hindering

quick realization of savings were identified as the geographic dispersion

of present ADP facilities, extensive incompatibility between equipments,

and the multi-functional nature of ADP applications. A recommenda-

tion for a strong central ADP management staff in the new Depart-

ment concluded the report of this study group.

Further coordinating action was undertaken by the Task Force

for organization and staffing of the new Department in the months fol-

lowing enactment of the legislation. The ADP sub-group of the Support

Services working group contacted all elements entering the Department

to identify needs for ADP support. Elements with existing capabilities

such as the Bureau of Public xioads, Coast Guard, and Federal Aviation

Agency were designated to assume some additional tasks as well as

continuing present ADP operations. Elements obtaining ADP services

from other sources were authorized to continue doing so on an interim

67

basis.

Many details of organization and staffing had not been finalized

when this paper was written. A separate study by a private firm was

in progress to determine the information needs of the Department of

Transportation at all levels. A total approach to information flow

between Federal* itate, and local government bodies was under con-

sideration. The recommendations from that study would include, ac-

coroing to Mr. Gill, the establishment of a staff component for all-

moaal information planning at a high level in the Departmental struc-

ture. i*he impact of the total information concept would be to further

integrate and standardize data systems. It would complement the goals

of the Department as well as responding to the numerous pressures

for ADP coordination.

It is believed that the more substantive questions raised in

the introduction to this paper have now been answered. The identity

of the Department and its elements, the reasons for its creation, and

the objectives which it hopes to attain, have all been established within

the limitations of this work and its author. Factual answers have also

been given to the questions of how much ADP coordination is required

and what has been accomplished so far.

More difficult to answer is the question of how much coordina-

tion is "right,** in a prescriptive sense, for this Department. This

decision requires a value judgment. The experience and interests of

be

the one making the appraisal must have some effect on his concept of

"

'Tightness.'*

The personal conclusion which has been drawn is that in-

creased standardization and integration of systems is both inevitable

and desirable. The long history of scattered responsibility and inco-

herent policy in the Federal transportation domain should not be

allowed to continue. The demands of a 21st century transportation

system must soon be met. V ith vigorous coordination, the computer

can be a most useful tool for solving the problems of the present and

meeting the challenges which lie ahead. Based on this conclusion,

the following recommendations are offered.

As soon as the initial confusion of establishing and staffing

the Department has subsided, an in-depth, realistic appraisal should be

made of the value to be gained from various methods of integrating and

standardising present ADP systems. Over-simplified approaches should

be avoided, but a total approach should be used to the greatest possible

extent. Dollar savings are not necessarily of first importance. Oper-

ational equipments should not be appraised under the same ground rules

as administrative systems, but all present and potential ADP applica-

tions and needs should be considered.

A considerable number of trained and dedicated persons are

already present within the structure of the Department. Their knowledge

and ideas should be incorporated into the intensive study which is being

*•

69

recommended here. Jivery attempt should be made to encourage and

re-ward thinking which goes beyond narrow, jurisdictional lines and

promotes a total team effort. Coordination between the central ADP

staff, operating elements, and the component working on total in-

formation needs will be crucial.

Sufficient time should be allowed for the study so that all

factors can be properly considered. Conducting this research has

given this observer a somewhat better understanding of the complex-

ities and difficulties involved with achieving a high degree of ADP co-

ordination in a large, newly-created organization of diverse elements.

The problems of the operating agencies and the effects of any pro-

posed changes should be considered as well as the desires of top

management and the needs of the over -all organization and the public.

Once a through study has been made, a balanced plan of action,

which takes all these factors into account, should be prepared, approved,

and firmly implemented. Unjustified resistance from any source should

not be allowed to impede progress. Problems and difficulties must be

faced up to and dealt with. If the trees are allowed to obscure the

forest for too long, the new organization may acquire the rigidity of

maturity* and a unique opportunity will pass by, unrealized.

> -

70

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74

APPENDIX B

ADDITIONAL DATA ON ADP CAPABILI'

OF D.O.T. ELLMLNT

1. demonstration Division, Office of High-Speed Ground Transport*-tion. Commerce Department.

IBM 1440, 12K computer.Kimball KR-1200 Reader.1442 card -read -punch.1443 printer.

2. Bureau of Public Roads:

IBM System/360 model 50.

3 selector channels.1 multiplexor channel.

4 2311-1 disc units.

2 2540-1 card -read -punch.2 1403-N1 printers.

10 2400 series tape drives.

1 1052-7 typewriter console.

3. Coast Guard:

IBM 1410, 40K computer.13*1 disc drive.

5 tape drives.

IBM 1130/computer8K

4. Federal Aviation Agency:

IBM 1401, 16K computer.1402 card -read -punch.1403 printer.

1311 disc unit.

5 tape drives.

2311 disc unit.

Leased. (Approx: $5500/month)Staff of 5.

Leased. (Approx: $33,000/month)Staff of 71.

(Being replaced by above system)

IBM 7010.

2 IBM 1401 computers.

Owned.Staff of 63.

Owned.Staff of 3.

Leased.

(Scheduled for early replacementby IBM System/360 model 30.)

Data shown for Headquarters installations only. Source:interviews Jan. 1967 and agency reports. Should be used for roughcomparison only due to frequent changes.

75

APPENDIX C

ADDITIONAL. DATA ON ADP APPLICATIONS

OF D.O.T. ELEMENTS1

1. Summarised totals by broad functional areas:

Functional area Number of

Comouters

Number of

Locations

Administration

Payroll

Research, Planning, Ik Engineering

Logistics Management

Certification, Identification, &Location

Overhaul it Maintenance

23

17

16

18

10

15

11

7

12

Training £ 4

Unique to Agency 8 7

2. Summarized totals of multi-functional operations:

Number of functional areas processed:J.

2 j 4 5 6 7 8

Number of computers 21 4294211— " ' i — ——^» I I I

»—»»»- II ii..i 1 III in I ! i I .. —

Source: Unpublished report of ADP -sub -group, D.O.T. TaskForce, March 1966.

ZFigures intended to illustrate wide variety of computer appli-

cations, and have not been corrected for changes since March 1966.

Lxcept for subtraction of 1 Maritime Administration computer whichwas included in that study, all changes would be additive to reflect

steady growth in computer utilization by all agencies.

76

APPENDIX C- -Continued

3. Congressional Hearing and Reports.

House of Representatives, Committee on Post Office andCivil Service, Subcommittee on Census and Statistics:

"Use of EDP Equipment in the Federal Government/*(August 31, 1960)

"Use of E.DP Equipment In the Federal Government,*'House Report 358 (October 16, 1963).

"Government ED? Systems" (June 14, 15, 28, 29 1966).

House of Representatives, Committee on GovernmentOperations, Subcommittee on Government Activities:

"Hearings on H.R. 5171,** House Report 428, (May 1963).

"Hearings on H.R. 4845,** (March -April 1965).

(Similar biUs. H.R. 5171 failed in Senate. H.R. 4845became P.L. 89-306)

4. Legislation.

Public Law 89-306-(A Law to provide for the economic andefficient purchase, lease, maintenance, operation, andutilization of ADP equipment by Federal departments andagencies.), October 30, 1965.

77

'ENDIX D

REPORTS, STUDIES, HEARINGS, AND LEGISLATION

RELATING TC THE COORDINATION OF ADP IN

THE FEDERAL GOVERNMENT1

1* Comprehensive government-wide studies and reports of the

Comptroller General. (GAO file No. B-115369 applies to

each of the following 4 reports.)

"Summary of Progress and Trend of Development andUse of ADP in Business and Management Control Sys-tems of the Federal Government as of December 1957,**

(June 1958).

"Review of ADP Developments in the Federal Govern-ment.** (December 1960).

"Study of Financial Advantages of Purchasing OverLeasing of Electronic Data Processing Equipment in

the Federal Government,** (March 1963).

"Review of Problems Relating to Management andAdministration of EDP Systems in the FederalGovernment,** (April 1964).

2. Studies and Reports sponsored by the Bureau of the Budget .

"Report of Findings and Recommendations Resulting fromthe ADP Responsibilities Study, September 1958-June 1959/(1959). Reprinted in Hearings on H.K. 4845, 89th Cong.,

1st sess., p. 567-614.

^Source: U.S. House of Representatives, Committee onGovernment Operations. Report on H. K. 4845- -ADP Equipment.Union Calendar No. 360, House Report No. 802, 89th Cong., 1st

Sess., August 17, 1965, and U.S. House of Representatives, Com*mltee on Post Office and Civil Service. Hearings on GovernmentEDP Systems. 89th Cong., 2c sess., June 196b.

7tt

APPENDIX D --Continue*

* 'Report to the President on the Management of ADP in

the Federal Government/' (March 1965). Printed as

Senate Document 13, 89th Cong., 1st sess.

BIBLIOGRAPHY

Public Documents

U.J. Bureau of the Budget. Guidelines for Appraising Agency Prac-tices in the Management of Automatic Data Processing (ADP)Equipment in Federal Agencies, Circular No. A-61, August3, 1963.

. Inventory of ADP Equipment in the Federal Government,July 1966.

• Planning - -Programming- -Budgeting. Bulletin No. 66-3,

October 12, 1965.

U.S. Comptroller General. Report of Review of Problems Relatingto Management ano Administration of Electronic Data Pro-cessing Systems in the Federal Government. GAG File

No. B-U5369. April 30, 1964.

U.S. Department of Commerce. The United States Department of

Commerce Promotes Economic Growth- -A Guidebook to

Commerce: Agency of Business, April 1966.

U.S. federal Aviation Agency. Agency ADP Study. Vol. 1, October

8, 1963.

. The Federal Aviation Agency, September 1964.

. System Description --National Airspace System En RouteStage A , April 21, 1965.

U. S. House of .Representatives, Committee on Government Operations,

Report to Accompany U.K. 15963- -Department of Transporta-tion Act. Report No. 1701. 89th Cong., 2d Sess., July 15,

1966.

. Committee on Government Operations, Subcommittee on

Executive and Legislative Reorganization. Hearings on H,R,

13200 --Creating a Department of Transportation. Parts 1 and

2. 89th Cong., 2d Sess., April-June 1966.

79

80

U.S. House of Representatives, Committee on Government opera-tions, Subcommittee on Government Activities. Hearings onH.R. 4645 --Automatic Data Processing Equipment. 89thCong., 1st Sess., March-April 1965.

. Committee on Government Operations. Report on M.K.4845, ADP k quipment. Union Calendar No. 360. ReportNo. 802. 89th Cong., 1st Sess., August 17, 1965.

. Committee on Post Office and Civil Service, Subcom-mittee on Census and Statistics. Hearings on GovernmentElectronic Data Processing Systems. 89th Cong., 2d Sess.,

June 1966.

. Conference Report- -Department of Transportation Act.

Report No. 2236. 89th Cong., 2d Sess., October 12, 1966.

9S» Public Daw 89-306- -Economic and Efficient Purchase. Lease,Maintenance, Operation, Utilization of ADP Equipment byFederal Departments and Agencies. H. R. 4845. 89th

Cong., 1st Sess., October 30, 1965.

U.S. Public Law 89-670- -Department of Transportation Act. H.R.15963. 89th Cong., 2d Sess., October 15, 1966.

U*S. Senate, Committee on Government Operations. Hearinns onS. 3010 --Establish a Department of Transportation* Parts 1

to 4. 89th Cong., 2d Sess., March-June 1966.

. Committee on Government Operations, Report to Acconvpany S. 3 010 --Establishing a Department of Transportation .

Calendar No. 1627. Report No. 1659. 89th Con^., 2d Sess.,

September 27, 1966.

. Committee on Government Operations. Report to the

President on the Management of Automatic Data Processing

in the Federal Government. Document No. 15, 89th Cong.,

1st Sess., March 4, 1965.

BooksChapin, Ned. An Introduction to Automatic Computers. 2d ed.

u. Van Nostrand Co., Inc., 1963.

Costello, T. W., and alkind, 3. S. Psycholofiy in Administration.

ILnglewood Cliffs: Prentice -Hall, Inc.

81

Fromm, Gary (ed.) Transport Investment and economic Development.W ashington: The Brookings Institution. 1965*

Gregory, Robert H.. and Van Horn, Kichard L. Automatic Data Pro-cessing Systems-- Principles and Procedures, id ed. Belmont:Calif.: Vvadsworth Publishing Co., Inc., 1965.

McCarthy, E. J., and McCarthy, J. A. Integrated Data ProcessingSystems. Edited by D. Humes. New York: John Wiley &.

Sons, Inc., 1966.

Owen, Wilfred. Strategy for Mobility . Washington: The BrookingsInstitution. 1964.

Parkhill, Douglas F. The Challenge of the Computer Utility. Reading,Mass.: Addison-W esley Publishing Co., 1966.

Philips on, Morris (ed.). Automation --Implications for the Future .

New York: Vintage Books, 1962.

Schmidt, Richard N., and Meyers, William E. Electronic BusinessData Processing. New York: Holt, Rinehart and Winston, 1963.

Solomon, Irving I., and W eingart, Laurence O. Management Uses of the

Computer. New York: Harper k Row, Publishers, 1966.

Wolfe, Roy I. transportation and Politics. Princeton: D. VanNostrand Co., Inc., 1963.

Yoshpe, Harry B., and Brown, Fred R. Transportation: The Nation'sLifelines. Washington: Industrial College of the ArmedForces, 1961.

Articles and Periodicals

"A New Cabinet Post is Created, but---," U. S. News and WorldReport. October 24, 1966, p. 12.

Mock, L. R., Jr., "Seven Deadly Dangers in ED?," Harvard BusinessReview. XXXX, No. 3, May-June 1962, pp. 88-96.

"Getting There is Hardly Ever Half the Fun," Time. November 4,

1966, p. 48.

.

82

Leavitt, Harold J. and \vhisler, Thomas L. "Management in the

1980*s." Harvard Business Review. \VI, No. 6,

November -December 1958, pp. 41-48.

Meyer, John R. "Transportation in the Program Budget.** ProgramBudgeting. Ed. Davie Novick. Washington: GovernmentPrinting Office , 1965.

The New York Times . June 1966 -March 1967.

"Untangling the Nation's Difeline." Business week. November lb,

1966, p. HI.

The Washington Post. June 1966-March 1967.

Whisler, Thomas L. "The Manager and the Computer.** The Journalof Accountancy, January 1965.

Unpublished Material

D.Q.T. Task Force, "Concept of Organization,** 1965. (Typewritten.)

. "Designation and Duties of Interagency Task Force.**

BoB Memorandum for VADM Trimble, USCC, Oct. IS, 1966.

_. "Provision of Interim ADP Support.** Memorandum for

Chairman, Support Services Working Group, Dec. 6, 1966.

. "Report on Potential Savings in ADP Activities Resulting

from the Creation of the Department of Transportation.**

March 1966. (Typewritten.)

Other Sources

Bureau of the Budget. Personal Interview with Mr. Clark Renninger,ADP Management Branch, February 3, 1967.

Bureau of Safety, Civil Aeronautics Board. Personal Interviews with

Mr. Albert Goldman, and Mr. Forris Hollowell, January 30, 1967.

Coast Guard. Personal Interviews with CDR D. Lauth, CDR O. Unsinn,LCDR J. Morrow, LCDK K. Palfrey, ENS DeChamps, and

E.NS Wagner, December 1966-February 1967.

83

Department of Commerce, Under Secretary for Transportation, Office

of Transportation Data Systems. 1 ersonal Interview with Mr.Robert Brown, Jan. 25, 1967.

. Office of High Speed Ground Transportation. PersonalInterview with Mr. Robert Haden, Jan. 25, 1967.

Bureau of Public Roads. Personal interviews withMr. K. Kohler, Mr. K. Closs, and Mr. J. Ledford, Jan. 24,

1967.

Federal Aviation Agency. Personal interviews with A. Cowart, M.Francis, T. Grieg, J. Rickard, J. SeiU, and L. Yarnell,January 1967.

General Services Administration. Personal interviews with Mr. RobertBrennan, and Mr. Joseph Flynn, February 8, 1967.

Gill, William A. "Economic Considerations in the Use of

Electronic Computers.'* Talk delivered at the AmericanManagement Association Briefing Session on ComputerI conomics. New York, June 29, 1962.

. "Role of the Systems Engineer in the Federal Government.'1

Talk delivered to the Navy Graduate Financial ManagementClass, George Washington University, February 15, 1967.

Interstate Commerce Commission. Personal Interview with G.Greene, ADP programming staff, Jan. 25, 1967.